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SOUND POINT CLO C-MOA, LLC

NEW YORK, NY · CRD 293256 · IAPD ↗ · 212-895-2280

$12.34BRegulatory AUM
36Advisory reps
40Employees
0Clients
n/aPlanning clients
24Private funds
0States
5Disclosures
fundSegment
ApprovedSEC status

Filing changes

55
April 2026 — SOUND POINT CLO C-MOA, LLC reported RAUM up 51% ($8.19B -> $12.34B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
60
April 2025 — SOUND POINT CLO C-MOA, LLC reported RAUM up 82% ($4.49B -> $8.19B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
April 2025 — SOUND POINT CLO C-MOA, LLC grew from 15 to 37 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
40
September 2024 — SOUND POINT CLO C-MOA, LLC's Item 11 disclosure-reporting entries rose by 3 (2 -> 5).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
40
April 2024 — SOUND POINT CLO C-MOA, LLC added office(s): 1 -> 3 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
59
April 2024 — SOUND POINT CLO C-MOA, LLC grew from 11 to 15 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.